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NAri INST OF STANDARDS & TECH R.I.C.

A1 1103089671QC100 .U57 NO.500-, 28, 1978 C.2 NBS-PUB

DATABASEADMINISTRATION:CONCEPTS, TOOLS,EXPERIENCES,AND PROBLEMS

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"

NBS Special Publication 500-28U.S. DEPARTMENT OF COMMERCENational Bureau of Standards

NATIONAL BUREAU OF STANDARDS

The National Bureau of Standards^ was established by an act of Congress March 3, 1901. The Bureau's overall goal is to

strengthen and advance the Nation's science and technology and facilitate their effective application for public benefit. To this

end, the Bureau conducts research and provides: (1) a basis for the Nation's physical measurement system, (2) scientific andtechnological services for industry and government, (3) a technical basis for equity in trade, and (4) technical services to pro-

mote public safety. The Bureau consists of the Institute for Basic Standards, the Institute for Materials Research, the Institute

for Applied Technology, the Institute for Computer Sciences and Technology, the Office for Information Programs, and the

Office of Experimental Technology Incentives Program.

THE INSTITUTE FOR BASIC STANDARDS provides the central basis within the United States of a complete and consist-

ent system of physical measurement; coordinates that system with measurement systems of other nations; and furnishes essen-

tial services leading to accurate and uniform physical measurements throughout the Nation's scientific community, industry,

and commerce. The Institute consists of the Office of Measurement Services, and the following center and divisions:

Applied Mathematics — Electricity — Mechanics — Heat — Optical Physics — Center for Radiation Research — Lab-

oratory Astrophysics- — Cryogenics^ — Electromagnetics'' — Time and Frequency'.

THE INSTITUTE FOR MATERIALS RESEARCH conducts materials research leading to improved methods of measure-

ment, standards, and data on the properties of well-characterized materials needed by industry, commerce, educational insti-

tutions, and Government; provides advisory and research services to other Government agencies; and develops, produces, and

distributes standard reference materials. The Institute consists of the Office of Standard Reference Materials, the Office of Air

and Water Measurement, and the following divisions:

Analytical Chemistry — Polymers — Metallurgy — Inorganic Materials — Reactor Radiation — Physical Chemistry.

THE INSTITUTE FOR APPLIED TECHNOLOGY provides technical services developing and promoting the use of avail-

able technology; cooperates with public and private organizations in developing technological standards, codes, and test meth-

ods; and provides technical advice services, and information to Government agencies and the public. The Institute consists of

the following divisions and centers:

Standards Application and Analysis — Electronic Technology — Center for Consumer Product Technology: Product

Systems Analysis; Product Engineering — Center for Building Technology: Structures, Materials, and Safety; Building

Environment; Technical Evaluation and Application — Center for Fire Research: Fire Science; Fire Safety Engineering.

THE INSTITUTE FOR COMPUTER SCIENCES AND TECHNOLOGY conducts research and provides technical services

designed to aid Government agencies in improving cost effectiveness in the conduct of their programs through the selection,

acquisition, and effective utilization of automatic data processing equipment; and serves as the principal focus wthin the exec-

utive branch for the development of Federal standards for automatic data processing equipment, techniques, and computer

languages. The Institute consist of the following divisions:

Computer Services — Systems and Software — Computer Systems Engineering — Information Technology.

THE OFFICE OF EXPERIMENTAL TECHNOLOGY INCENTIVES PROGRAM seeks to affect public policy and process

to facilitate technological change in the private sector by examining and experimenting with Government policies and prac-

tices in order to identify and remove Government-related barriers and to correct inherent market imperfections that impede

the innovation process.

THE OFFICE FOR INFORMATION PROGRAMS promotes optimum dissemination and accessibility of scientific informa-

tion generated within NBS; promotes the development of the National Standard Reference Data System and a system of in-

formation analysis centers dealing with the broader aspects of the National Measurement System; provides appropriate services

to ensure that the NBS staff has optimum accessibility to the scientific information of the world. The Office consists of the

following organizational units:

Office of Standard Reference Data — Office of Information Activities — Office of Technical Publications — Library —Office of International Standards — Office of International Relations.

^ Headqujirters and Laboratories at Gaithersburg, Maryland, unless otherwise noted; mailing address Washington, D.C. 20234.

" Located at Boulder, Colorado 80302.,

Z 1978

COMPUTER SCIENCE & TECHNOLOGY:

Database Administration:

Concepts, Tools, Experiences, and Problems

Belkis Leong-Hong

and

Beatrice Marron

Systems and Software Division

Institute for Computer Sciences and Technology

National Bureau of Standards

Washington, D.C. 20234

U.S. DEPARTMENT OF COMMERCE, Juanita M. Kreps, Secretaryi

Dr. Sidney Harman, Under Secretary

Jordan J. Baruch, Assistant Secretary for Science and Technology

'I/, NATIONAL BUREAU OF STANDARDS, Ernest Ambler, Director

• #

Issued March 1978

Reports on Computer Science and Technology

The National Bureau of Standards has a special responsibility within the Federal

Government for computer science and technology activities. The programs of the

NBS Institute for Computer Sciences and Technology are designed to provide ADPstandards, guidelines, and technical advisory services to improve the effectiveness of

computer utilization in the Federal sector, and to perform appropriate research and

development efforts as foundation for such activities and programs. This publication

series will report these NBS efforts to the Federal computer community as well as to

interested specialists in the academic and private sectors. Those wishing to receive

notices of publications in this series should complete and return the form at the end

of this publication.

National Bureau of Standards Special Publication 500-28

Nat. Bur. Stand. (U.S.), Spec. Publ. 500-28,48 pages (March 1978)

CODEN; XNBSAV

Library of Congress Cataloging in Publication Data

Leong-Hong, Reikis.

Database administration.

(Computer science & technology) (National Bureau of Standards

special publication ; 500-28)

Supt. of Docs, no.: C13.I0:500-28

1. Data base management. I. Marron, B. A., joint author. II. Title.

III. Series. IV. Series: United States. National Bureau of Standards.

Special publication ; 500-28.

QC100-U57 no. 500-28 [QA76.9.D3] 602Ms [658'.05] 78-606197

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1978

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402

Stock No. 003-003-01900-3 Price $2.20

TABLE OF CONTENTSPage

1. INTRODUCTION 1

2. DATABASE ADMINISTRATION CONCEPTS 2

2.1 Database Administration Functions 3

2.2 The Database Administrator 6

2.2.1 Functional orientation 6

2.2.2 Scope 7

2.2.3 Stage of implementation 7

2.2.4 Organizational Placement 7

3. THE DATABASE ADMINISTRATION TOOLCHEST 8

3.1 DBMS and DED/D 8

3.1.1 Database Management Systems 9

3.1.2 Data Element Dictionary/Directory Systems . 103.1.3 DED/D Relationship to DBMS 10

3.2 Other Database Administration Tools 10

4. SURVEY 14

4.1 Background 15

4.2 Functions 16

4.3 Tools 23

4.3.1 Use of DBMS and DED/D 234.3.2 Use of Other Database Administration Tools. 25

4 . 4 Problems 25

4.4.1 Non-Technical Problems 254.4.2 Technical Problems 26

4.5 Advice 27

5. OBSERVATIONS 28

6. IMPLICATIONS OF DBA COMMITMENT 29

6.1 What Database AdministrationShould Do For Management 30

6.2 What Management MUST Do for the DBA 31

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FIGURES

1. Government DBA's Role in Database AdministrationTasks — Group A 18

2. Government DBA's Role in Database AdministrationTasks — Group B 19

3. Government DBA's Role in Database AdministrationTasks — Group C 20

4. Government DBA's Role in Database AdministrationTasks — Group D 21

5. Availability of Software Tools to Sample DBAPopulation • • • • 24

APPENDICES

APPENDIX A — BIBLIOGRAPHY 32

APPENDIX B — DBA INTERVIEW OUTLINE 36

APPENDIX C — DATABASE ADMINISTRATION TASKS —INTERVIEW OUTLINE 38

APPENDIX D — DATABASE ADMINISTRATION TOOLS —INTERVIEW OUTLINE 41

ACKNOWLEDGEMENT

We gratefully acknowledge the excellent cooperation ofthe Database Administrators who shared their experienceswith us for this study.

E. BlytheL. BreaultR. Coale

R. CrellinR. DykeJ. ElyI. FeldmanCpt. ForneyCol. GersonG. HallJ. LafleyP. McGuireS. MikkaC. TannenbaumF. ThomasB. WellsM. WillsJ. Yienger

Dept. of Defense-- NavyDept. of Energy (Formerly ERDA)Dept. of HEW — Social Security Adminis-trationDept. of HUDCivil Service CommissionDept. of Defense— NavyDept. of HUDDept. of Defense — DCECDept. of Defense — DCECFederal Deposit Insurance CorporationDept. of AgricultureDept. of Commerce -- NBSDept. of Energy (Formerly ERDA)Dept. of TreasuryDept. of Defense -- NavyDept. of Defense — MILPERCENDept. of AgricultureFederal Power Commission

We especially appreciate the support of Dr. Dennis Fife,Chief, Computer Science Section, NBS.

-V-

DATABASE ADMINISTRATION:CONCEPTS, TOOLS, EXPERIENCES, AND PROBLEMS

Belkis Leong-Hongand

Beatrice Marron

In this report the concepts of database ad-ministration, the role of the database administra-tor (DBA) , and computer software tools useful indatabase administration are described in order toassist database technologists and managers. Astudy of DBA's in the Federal Government is de-tailed in terms of the functions they perform, thesoftware tools they use, the problems they haveencountered, and advice they offer. Finally, someguidelines are presented on what database adminis-tration should do for management, and what manage-ment must do for their DBA's.

Key words: Computer software; databaseadministration; database administrator (DBA);database management system (DBMS) ; data elementdictionary/directory (DED/D)

.

1. INTRODUCTION

Increased awareness of managers that data is an organi-zational resource has led to a recognized need for discip-lined control of all automated and non-automated data. Thiscontrol is embodied in a set of management procedures andtechnical functions which is characterized as "database ad-ministration". At the present time the term database ad-ministration is applied to a conglomeration of duties andresponsibilities for which there exists no standard. Thereis much interest in this emerging discipline, both insideand outside the Federal Government.

The National Bureau of Standards (NBS) is chargedunder the provisions of Public Law 89-306 (the Brooks Act)to assist Federal information managers in their data pro-cessing needs. NBS assesses new developments in informationand computer sciences and technologies, in order to helpother agencies apply technological solutions to data

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processing problems. Several recent NBS studies in the datamanagement area have focussed on software tools such as dataelement dictionary/directory (DED/D) systems and databasemanagement systems (DBMS) [1, 19, 26, 27].

In this report, concepts and functions of database ad-ministration are examined. Tools useful to the practicingdatabase administrator (DBA) , and problems common amongDBA's are discussed. Critical needs and common pitfalls areidentified to provide guidance to the database technologist,the manager, and the new DBA. A bibliography of relevantliterature is included as Appendix A.

To gather experiential data for this study, we consult-ed DBA's in the Federal Government. These DBA's were verycandid about the problems to be expected in establishing aviable database administration operation, and they providedinsight into the rewards of an effectively controlled data-base environment. Their cooperation is greatly appreciated.Although the sample was small and from a specialized commun-ity, the observations made are applicable to the entire da-tabase community.

2. DATABASE ADMINISTRATION CONCEPTS

Database administration encompasses all the technicaland management activities required for organizing, maintain-ing and directing the database environment. Throughout thisreport "Database" is used to mean "all of the data of theorganization which is organized and controlled using a data-base technology," or "a systematic methodology for the stan-dardization and integration of data resources at an organi-zation level" [28]. A database environment consists of:

* the database, as defined above, including automatedand non-automated data;

* the database administrator (DBA) , the manager of thedatabase environment;

* the software tools used in data administration anddata processing; and

* the users of the database.

It should be noted that while a DBMS is a very useful toolfor database administration, the mere usage of a DBMS doesnot constitute establishing a database environment.

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The main goals of database administration are: to op-timize usage of data in a shared database environment; toincorporate a systematic methodology for the centralizedmanagement and control of data resources; and to balanceconflicting objectives with respect to the organization'smission and the overall economy of data handling. Amongthe key requirements for effective database administrationare: strong management commitment and support; technicallycompetent staff; team participation in the database environ-ment by DBA's, management, technical staff, and users; and awell-defined Database Master Plan. This Master Plan must bedeveloped early, and must include: plans for transition intoa database environment, for staffing, and for acquisition ofsystems and services; definition of responsibilities; andrules and procedures for operation. Significant advantagesthat database administration can provide are:

* The database can be better managed, especially if thedata resources are centralized and shared;

* Data independence can be accomplished via controlleddefinition, design and implementation of the database;

* Data redundancy and inconsistency can be reduced bybalancing conflicting requirements;

* Data integrity can be improved via standard usages,increased data reliability, and enforced security res-tr ict ions

;

* Increased responsiveness to the various user communi-ties can result from better controlled, and more up-to-date data; and

* Economic benefits can be derived from elimination ofunnecessarily duplicative processing.

The degree to which database administration should beapplied depends on the size and complexity of the databases,and the information needs of the overall organization. How-ever, proliferating databases, overlapping requirements,lack of data integrity, and duplication of efforts are symp-toms of the need for database administration.

2.1 Database Administration Functions

There is wide agreement on the basic functions of data-base administration. A list of tasks most commonly per-formed by the DBA was compiled from the literature, and ispresented below [4, 5, 6, 9, 22, 23, 29, 34, 35, 37, 38].This list of functions is not exhaustive, but it is

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representative.

1. Database definition/ redefinition. The DBA shouldidentify and define common data elements, define therelationships between data elements and other com-ponents such as programs, files, and systems. The de-finition of the data elements and the data relation-ships should be based on a clear understanding of eachparticipating user community's requirements, as well asthe overall organization's needs. Where possible, theDBA uses a data definition language to define andstructure the database. It is also in the DBA's pur-view to define, review and monitor data standards. Ifthe need arises for changing and re-structuring the da-tabase, the DBA should initiate this activity, andredefine the database, or any part of it to meet chang-ing requirements.

2. Selection and procurement . The DBA should partici-pate in the processes of evaluation, selection, andprocurement of hardware, software, and services relatedto database administration.

3. Database design/ redesign . The main design activityis the design and structuring of the entire database,taking into consideration the differing needs of theentire user community. This includes design of thedata structure as seen by the application community,the storage structure, mapping and search strategies,and access methods, as well as design of the DED/D andof support software for creating, maintaining, andreorganizing the database. If the need arises, redesignand restructuring activities, encompassing all the ele-ments above are also the DBA's responsibilities.

4. Database creation. Under this function are includedsuch activities as data collection, database loadingand testing, and implementation of data definitions,the DED/D and other database support software.

5. Database Security/Integrity . The database securityfunction is intended to guard against unauthorized ac-cess to the database, and unauthorized update, copying,removal or destruction of any part of the database.This may be achieved through the use of security locksand keys, cryptography, etc. Database integrity is re-lated to the DBA's responsibility for the correctnessand accuracy of the data. It can be achieved throughthe use of validation checks, loggings, dumps, backupand recovery procedures , and auditing procedures.

6. Database maintenance/management. The DBA should beresponsible for the continued well-being of the data-base environment. As such, it is his responsibility tomaintain and update database definitions and databasedocumentation, and to maintain and update the DED/D andother database support software. The DBA should inter-pret and administer high level management policies re-lated to the database, and define rules of use and ac-cess constraints for the database. In addition, heshould be responsible for review, and approval of newdata definitions and enforcement of data standards.

7. Database performance monitoring and evaluation .

Responsibilities should include reviewing, test ing , andevaluating the performance of automated as well as pro-cedural data activities; initiation of system improve-ment when indicated; assessment of the impact ofchanges; and maintenance of state-of-the-art awareness.If the performance evaluation and monitoring activitiesindicate that the database is no longer effective orefficient in the present configuration, redefinition,redesign, and restructuring activities may be undertak-en .

8. Database enforcement . Enforcement activities includedetermination of compliance with established standardusages; development of database content, organization,and storage control procedures; and responsibility foraccess control and security of the database, such aspassword issuance.

9. Liaison with users, with systems and applicationanalysts, and with organizational management shouldprovide information, assistance and guidance on the useof database facilities, to detect and correct userproblems, and to notify users of changes in systemstatus

.

10

.

Training of users, staff and management should becoordinated to develop awareness of database concepts,and available resources.

There is another category of functions which is typi-cally performed before the database environment is opera-tional. This category of initiation functions includes suchactivities as planning, formulating a Database Master Plan,performing feasibility studies, personnel staffing, andnegotiating participation in the database environment withdifferent groups of users.

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2.2 The Database Administrator

The DBA, in theory, is the organization's leader inplanning, design, development, implementation, testing, do-cumentation, operation, and maintenance of the entire data-base environment. The role of the DBA is usually character-ized as both technical and administrative. There is also a

promotional dimension to this role, since the DBA representsthe database administration concepts and procedures to allparticipants, and coordinates all database activities amongmanagers, analysts, systems and application programmers, andusers. Because database administration activities impactacross organizational boundaries, the DBA position is sensi-tive, and the DBA must be astute to jurisdictional questionsand competing mission requirements. It should be noted thatalthough the tasks in database administration are performedby one or more persons, there is usually one person who ischarged with the responsibility for coordinating, control-ling and directing activities in the database environment.This person is generally designated as the DBA.

Although there is agreement on the basic functions ofdatabase administration, there is no standard set of dutiesand responsibilities for the DBA. Several factors that in-fluence the definition and extent of the DBA role within anorganization are:

a) functional orientation,b) scope,c) stage of implementation, andd) organizational placement.

All these factors depend on the degree of commitment tothe database environment by the implementing organization.In order to characterize fully a DBA, it is necessary todescribe him in terms of the four factors mentioned above.Together, these determine the role of the DBA, and the func-tions that are performed and emphasized.

2.2.1 Functional orientation . There are two extremes offunctional orientation:

a. Technical

;

TShe DBA manages the database, he hasan extensive technical background, and is responsibleprimarily for the technical operation of the databaseenvironment

.

b. Administrative : The DBA is a manager, who may ormay not have detailed technical background. Usually theadministrative DBA has a staff of technical personnelthat handles the technical day-to-day operations of da-tabase administration.

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In practice, none of the DBA's is strictly technical orstrictly administrative, but a combination of the two. Asmentioned before, there is also often a promotional orienta-tion in the DBA function.

2.2.2 Scope. It is inevitable that factors such as the mis-sion of the database administration effort, the database en-vironment, and the size of the organization will have signi-ficant influence on the scope of the DBA. Scope can fallinto two categories:

a. Pro j ect-or iented

;

The project DBA has completeresponsibility and control for all database-related is-sues pertaining to that project. The project DBA some-times reports, to an overall-organization DBA. The term"local" DBA has also been used to refer to the projectDBA.

b. Over all-organizat ion-or iented

:

The organizationalDBA has complete control and responsibilities for alldatabase-related issues for the corporate dataresources. Such DBA's are usually placed very high or-ganizationally. The term "global" DBA has also beenused to refer to the organizational DBA.

2.2.3 Stage of implementation. Although stage differentia-tion is an ephemeral characterization, it is of interest inthe context of differences in the DBA functions. The stagesof implementation are: initiation, design, and operation.

Activities performed by DBA's in each of these stageswill differ in their emphasis. For example, during the ini-tiation stage, activities such as feasibility studies, plan-ning, and system selection will be predominant; as the da-tabase administration function progresses to the operationalstages, performance monitoring and evaluation activities,maintenance and management activities, and efficiency im-provement activities will predominate. All the while, theten basic functions outlined in the previous section areperformed to some degree.

2.2.4 Organizational Placement. The consensus among dataresource technologists is that the DBA function should beplaced very high organizationally in order to ensure itssuccess. Three examples of organizational placement arepresented below:

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In the first example, the DBA is located in thedirector's office. Placed that highly, the DBA can have agreat amount of clout, since the office at least implicitlyhas the direct support of executive management. As a partof the director's staff, the DBA should have access to theorganizational data resources and can exact cooperation fromthe line organizations.

A second example is the DBA as a staff position in theComptroller's Office. A direct line of communication to theComptroller could have great leverage, since the "pursestring" can be used as a lever in assuring compliance to da-tabase rules and regulations.

A third example pictures the DBA as a sub-unit of thedata processing shop. This represents the lower end of thespectrum in organizational placement. As a staff member ofa service unit, the DBA usually would have less authorityorganization-wide than in either of the two cases mentionedabove, and can expect less cooperation from the rest of theorganization

.

3. THE DATABASE ADMINISTRATION TOOLCHEST

There are a great number of software packages availablein the market that can help the DBA. The use of these toolscan have direct impact on all phases of the management andcontrol of data resources. Two software tools are con-sidered to be greatest in importance in database administra-tion. These are: the Data Element Dictionary/Directory(DED/D) system, and the Data Base Management System (DBMS)

,

both of which are discussed below. Then, descriptions ofother database administration tools and auxiliary tools arepresented

.

3.1 DBMS and DED/D

Database Management Systems (DBMS) and Data ElementDictionary/Directory Systems (DED/D) are two "core" toolsfor the DBA, and complement each other in the management ofthe database environment. In fact, many of the benefitsrealized from the use of a DED/D are parallel to the onesattributed to the use of a DBMS. However, it should be not-ed that while the benefits realized from a DBMS are directlyrelated to the effective computer processing of the data;the benefits from a DED/D are directly related to the effec-tive collection, specification and management of the total

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data resources of an organization.

Among the tangible benefits that can be derived fromthe use of a DBMS and a DED/D are [19, 27]:

* Sharing of data resources;

* Simple and effective control of the data elements;

* Reduction of data redundancy and inconsistency;

* Enforcement of standard definitions and usages;

* Enforcement of security safeguards and controlledaccessibility to the database;

* Maintenance of data integrity;

* Determination of the impact on the total informa-tion activity from changes to data elements;

* Resolution of conflicting requirements;

* Centralization of data elements as an aid indesign and development of new systems; and

* Consistency in documentation for the database.

It should be noted that it is not an absolute require-ment that those subscribing to the concepts of database ad-ministration must use a DBMS or a DED/D. However, experienceshows that when the database environment becomes operation-al, plans are made to procure either one or both of thesetools. Some advocate the phased installation of these twotools, with the DED/D preceding the DBMS. But regardless ofthe stage at which these tools are installed, their funda-mental importance cannot be overly emphasized.

3.1.1 Database Management Systems . A DBMS is a softwaretool that provides an integrated source of data for multipleusers, while presenting different views of the data to dif-ferent users. It can be characterized as generalizedsoftware which provides a single flexible facility for ac-commodating different data files and operations, whiledemanding less programming effort than conventional program-ming languages [19]. It features easy access to the data;facilities for storage and maintenance of large volumes ofdata; and most importantly, the capability for sharing thedata resources among different types of users.

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Database Management Systems range from elementary sys-tems with single record structures, providing rudimentaryreport formatting facilities, to very elaborate systems han-dling several files with hierarchical structures, performingfunctions in an online mode, and having sophisticated queryand report-writing capabilities.

3.1.2 Data Element Dictionary/Directory Systems. As dataresources continue to grow , it is becoming apparent thatnot all data problems are necessarily resolved with the useof a DBMS, especially, since not all the data is automated.A recent trend is to use a separate class of automated toolsthat provide central control of all data resources in a uni-form manner across organizational lines, the Data ElementDictionary/Directory systems. The DED/D performs some ofthe same functions as the DBMS; however, it is different inthat the thrust of the DED/D is to provide control over ALLthe data resources, both automated and non-automated. Sincethe design objectives of the DED/D coincide with the basicgoals of database administration, it is not surprising thatthe DED/D is one of the basic tools in the DBA toolchest.Two recent NBS Special Publications survey the state ofthe art in DED/D ' s [26, 27].

3.1.3 DED/D Relationship to DBMS. Because DED/D ' s are con-cerned with the management of data elements, it is logicalthat there should exist a strong relationship between aDED/D and a DBMS.

Interfaces enhance the usefulness of both the DBMS andthe DED/D, and in fact, many of the commercially-availableDED/D's provide interfaces to various DBMS ' s . These inter-faces provide the user with the ability to [27]:

a) Define the database to the DED/D, capitalizing onDBMS resources, such as existent, well-defined filestructures and access methods;

b) Generate data element definitions for a DBMS from anup-to-date DED/D; and

c) Exercise control over the data elements of a DBMSusing DED/D facilities.

3.2 Other Database Administration Tools

Tools which are useful primarily in database adminis-tration are described below in terms of their functions. It

is important to note that these software tools may appear asa single, self-contained piece of software; as a part ofanother piece of software; or as a utility or facility of

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DBMS, the DED/D, or the operating system.

Information/Data Retrieval System

An information/data retrieval system (IRS) is aprogram or set of programs that enables the user to re-trieve information in a variety of formats. Some IRS'operate in batch mode. However, most modern IRS pro-vide interactive (conversational) capabilities, includ-ing extensive user-oriented facilities and rapidresponse to system commands.

Online Query System

An online query system is a separate set of pro-grams, or a' feature within a DBMS, that enables theuser to obtain information contained in a database in-teractively.

Data Entry System

A data entry system provides the facilities forautomatic data entry and data collection. Some provideinteractive data entry facilities, allowing for key ve-rification, limited editing, and formatting. Some allowbatch operation to enable massive data loading.

Editor

An editor facilitates selective m.odif ication andcorrection of data, program or document text. Specialpurpose editors are available, geared towards entry,modification and editing of data, files, programs, ortexts. Facilities may be provided to edit input tran-sactions against a set of predefined validation cri-teria.

Flowchart Generator

A flowchart generator produces a pictorial diagramof the flow of control and logical paths of a computerprogram. Narrative documentation may be produced as aside-benefit.

Text Processor

A text processor is a documentation aid that ac-cepts lines of source texts interspersed with formatcontrol commands, and formats the text into a print-able, paginated document with a user-designed style.

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Report Generator

A report generator allows automatic generation ofpr e-formatted reports on a production basis, or allowsdefinition of ad-hoc reports, via parameters. Some ru-dimentary data manipulation functions may be performed,and data extraction from an established database may bepossible

.

Cross-Refer ence Generator

A cross-reference generator for databases produceslistings of data elements used in files, programs andsystems, indicating where data elements are beingreferenced. For programs, it produces listings of thevariables (data elements) used in programs,subroutines, and systems, indicating where they are be-ing referenced.

Text/File Reformatter

A text/file reformatter rearranges and structuresfiles according to specifications, and rearranges andstructures text and source programs for improved reada-bility. It may provide limited text additions for do-cumentation purposes.

Data/File Maintenance Programs

Data/file maintenance programs perform globalchanges for all, or selected, records in a file, whilereporting changes in data content before and afteroperations. They may provide data/file edit capabili-ties, and data items deleted or added may be flaggedfor audit trail purpose. Data and file maintenanceprograms may be a self contained software package, a

set of utility programs provided by the operating sys-tem, or a feature of the DED/D or the DBMS.

Data Editing and Validation System

A data editing and validation system provides theuser with the ability to perform data validity tests,data editing, error correction and error reporting, orany subset of these tasks. It may be parameter-driven,so that different edit requirements can be accommodat-ed. These functions may be performed in an entirelyinteractive manner, or completely batch, or a combina-tion of the two modes.

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Data Auditor

A data auditor examines source data definitionsand analyzes data relationships, data structures, for-mats and storage usages for consistency, validity, andefficient utilization. It may provide a dictionary ora catalogue that contains definitions of the data at-tributes, and characteristics of the data type. Thedata auditor is available as a self-contained softwareproduct, but it is also available as a feature of theDED/D or the DBMS.

Data Security

A data security module may provide protection oversensitive data, by encrypting/decrypting, and by con-trolling access to the sensitive parts of the database.Data security can be achieved through encoding anddecoding, or through execution-time password capabili-ties .

Test Data Generator

A test data generator produces test data files ac-cording to specifications. The test data can then beused for testing application software.

Optimize rs

Optimizers apply changes directly to programsource code in order to make them run more efficientlyin terms of reduced run-time, or reduced core require-ments. They may perform analysis of the program forundetected bugs and optimal logical flow.

Automatic Space Generators

Automatic space generators find available spacefor programs or files that are awaiting processing.

Schedule r

Schedulers allocate available computing resourcesin order to optimize the use of resources to dailyworkloads. They may produce reports indicating theareas where optimization of the resources may occur.

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Project Manager

A project manager is a software tool that providesdata collection, storage, and reporting facilitiesaimed at personnel time and task accounting. They maybe coupled with PERT packages, and other productivityand scheduling management aids.

Librarian (program, file, etc.)

Librarians facilitate organized and economicalstorage of programs, texts, data sets, and objectmodules for centralized retrieval and updates. Theymay collect accounting data to assist in storage allo-cation .

4 . SURVEY

In order to gain insight into the subject of databaseadministration, it was decided to go into the ADP community,and talk to people who perform the functions of database ad-ministration. The study was limited to in-depth conversa-tions with twelve DBA's from the Federal Government in theWashington, D. C. area. All the meetings took place inmid-1977. The agencies represented were:

Civil Service CommissionDepartment of AgricultureDepartment of Commerce-- NBSDepartment of Defense-- DCECDepartment of Defense-- MILPERCENDepartment of Defense-- NAVYDepartment of Health Education and Welfare--

-- Social Security AdministrationDepartment of Housing and Urban DevelopmentEnergy Research and Development AdministrationFederal Deposit Insurance CorporationFederal Power CommissionTreasury Department

There is usually more than one person in an organiza-tion performing database administration functions, and in

fact, often several members of the organization were presentat our meetings, presenting us with a broader and more ob-jective picture of database administration within that or-ganization. The discussions were conducted using a struc-tured approach, but on an informal level. An outline hadbeen prepared and is included as Appendix B. The DBAs were

-14-

given lists of the functions, and tools discussed in theprevious sections; these lists are included as Appendices Cand D.

The discussions were organized in five areas: back-ground, tasks, tools, problems, and advice; and this sectionfollows that scheme. A composite case study is presented,rather than individual case studies. Similarities anddifferences are analyzed in terms of the DBA functionalorientation, scope, stage of implementation and organiza-tional placement.

4.1 Background

A summary profile of our sample of Federal DBA's fol-lows :

There is not yet within the Government a position clas-sification entitled "Database Administrator." All of theDBA's interviewed have a Civil Service Commission classifi-cation of "Computer Specialist," "Database Analyst," or"Computer Systems Administrator," which falls in the GS-334,330, or 301 classification series. Some had the classifica-tion sub-title of DBA. In more than half the cases, theperson's organizational title is DBA. The interviewees wereequally divided between male and female. They considerthemselves administrators, although they usually have a

technical/computer background. The lead person is ratedGS-13 to GS-15.

The support staff averages 6 in number, and includesboth administrative and technical personnel. The staff'straining is usually technical, enhanced by vendor-providedcourses, and supplemented by users groups meetings and con-ventions .

75% of those interviewed consider themselves over-allorganization-oriented rather than project-oriented; one halfof these had other project-oriented DBA's reporting to them.There were varying degrees of control over project informa-tion .

In about 40% of the cases, the DBA function was opera-tional; the rest were in various stages of initiation,design and development. Those that were operational hadbeen in existence from 1-1/2 years to 4-1/2 years. The dateof creation of the function frequently was preceded by ex-tensive unofficial initiation activities, ranging from 12 to18 months. Those that were in the initiation phases were 6

to 12 months old. It is interesting to note that in thosecases where the database administration function is

-15-

operational rather than in the initiation phase, the chief'stitle is more often DBA, and the grade level is at thehigher end of the range.

Those that were in the initiation stages viewed theirdatabase administration functions as being technical ratherthan administrative. Those that have been operational forlonger periods, viewed their functions as being both admin-istrative and technical. Further, those with an operationalstatus usually have a Database Master Plan, a better idea ofwhat the DBA tasks involve, and fairly well-defined respon-sibilities .

The database administration activity is usually locatedwithin the data processing/information management area of anorganization; it is most often separate from, but on a parwith, the computer operations activity. Sometimes, there isa tie to the comptroller's office, or to the office of thedirector for administration.

Reasons cited for creating the database administrationfunction fall into two categories:

(1) General commitment to database and database concepts,i.e., looking at things that would help in data manage-ment, fulfilling a Database Master Plan, pooling dataresources, and concentrating database expertise in-house.

(2) To solve specific problems, such as data redundancy,no data standards, poor data access, and inadequate datacontrol

.

4.2 Functions

The ten major tasks discussed in section 2 are groupedhere, for analysis, as follows:

A. Definition, Design, Implementation;B. Maintenance/Management, Performance Monitoring and

Eval uat ionC. Security/Integrity, Enforcement;D. Selection/Procurement, Liaison, Training.

The order in which these appear do not indicate their rela-tive importance or life cycle position.

Barcharts depicting the government DBA role in databaseadministration tasks are presented in figures 1-4. There isa barchart for each of the groupings cited above.

The following legend applies to all the bar-charts:

-16-

Direct responsibility: indicates a major role;

Coordinating role : ranges from strong participation ina team effort to an advisory/consulting role;

Other

:

means that other groups within the overall or-ganization perform this function;

Not applicable: tasks are not relevant to the organi-zation .

It should be noted that the legend items on the bar-charts are not mutually exclusive. Even when direct respon-sibility for a specific task was claimed, there was somemeasure of consultation or team effort reported. When "Oth-er" is noted, it may mean a standards group, a computeroperations group, or an end-user performs this function."Not Applicable" means the activities are not being per-formed at the present time by anyone in that organization.For example, if a DED/D does not exist in an organization,none of the activities related to the DED/D are applicable.We report the DBA's statements regarding direct responsibil-ity and coordinating role, but realize that there is oftenonly a small discernible difference between the two roles.

-17-

FIGURE 1

GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS— GROUP A

Elements

o^ >M 1-3

Relationships ^>M GOO M

KEY

Standards

DatabaseStructure

oa >

DED/D DesignM wo >

SupportSoftware

direct responsibility!of DBA

coordinating/consult isrole !

done by others

I Inot applicable

Data Collection m^msmmmkim^m^^s^m^1^

ImplementsDefinitions

Implement s

DED/D

Imp lements

mi

>

Support Software g55 ^j. sample O

O

-18-

FIGURE 2

GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS—GROUP B

DED/D

DB Definitions gM1-3

>>CO>COw

>

DB Documentation >

Policies &

Practice

KEY

direct responsibilltof DBA

SS^ol coordinating/consultrole

done by others

not applicable

AutomatedActivities

ProceduralActivities

InitiatesImprovements

EconomicAssessments

State-of-the-art

oSI

>

>

o -s^3% of sample o

o

-19-

FIGURE 3

GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS GROUP C

Integrity Checks& Validation Rules

Failsafe

Auditing

Audit Trails

QMk!

COMO

KEY

direct responsibilityof DBA

coordlnatlng/consultlirole

done by others

I I not applicable

Authorization/Password

Database Control

Compliance

Access Control

oowMh3

o % of sample oo

-20-

FIGURE 4

GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS—GROUP D

Hardware

Software

Services

•D CO

o tr'o mG oSI 1^M Ms o

1^ R°

KEY

direct responsibilityof DBA

coordinating/ consultingrole

done by others

With Analysts

not applicable

With Users>MCOO2

With Management

Users

M

Technical Staff ^^^^^

Managemento % of sample o

o

-a-

In addition to being asked to identify which tasks theyperformed, the DBA's were asked to identify tasks "most of-ten performed" and tasks deemed "most important." The termDBA here means the DBA team. The following patterns wereobserved in the sample.

* In 75% of the activities, the DBA either has directresponsibility, or a coordinating role. The notableexception is in the area of data collection. Thosesurveyed indicated that the task of collecting data wasperformed or overseen by other than the DBA. Data col-lection was included among the DBA tasks because it wasso reported in the literature. A possible explanationfor this discrepancy is that the literature reports onindustry experience, whereas our sample covers FederalDBA's only.

* In database maintenance/management and database perfor-mance monitoring/evaluation activities, the DBA has ei-ther direct responsibility or coordinating responsibil-ity in 75% of the sample population.

* There is a very small role reported in the database do-cumentation area, although the responsibility clearlylies within the DBA's domain.

* Although liaison, selection/procurement, enforcement,security/integrity, and training activities are almostuniversally the direct responsibility or strong coordi-nating responsibility of the entire sample, those ac-tivities were, however, seldom reported as being "mostoften performed" or deemed "most important."

* "Most often performed" tasks were: design, implementa-tion, and maintenance/management, followed closely bydefinition and performance monitoring/evaluation ac-tivities. Judged "most important" tasks were: design,implementation and definition, in that order. Admit-tedly, since many activities are time- and stage-dependent, it is difficult to analyze these responses.Very often, the answer to "most often performed" didnot correspond with the answers to deemed "most impor-tant."

* Other tasks mentioned included planning, scheduling, do-cument preparation, user requirements definition, andapplications development.

* It is important to point out that the activities thatwere noted as being "most important" and "most oftenperformed" are the technical activities within the DBAfunctions. Although the DBA's interviewed claimed that

-22-

they were more administrative than technical in nature,in fact, the analysis based on their responses to "mostoften performed" and "most important" indicate theirtechnical inclination.

4.3 Tools

Although there are many generalized software packagesavailable for sale or lease, some DBA's reported that theychose to build their own software, either because they re-quired special capabilities, because the commercial softwarewas unavailable to them, or because they felt they couldbuild better or cheaper tools in-house.

The availability of software tools to the sample DBApopulation is summarized in figure 5. This availability isreported in two categories, commercial software and in-housedeveloped software. Within each of these categories, dis-tinction is made between "free-standing" and "feature ofother tool." "Free-standing" means that the tool is a self-contained software package; "feature of other tool" meansthe tool is a capability within another software system,such as a DBMS, a DED/D, or an operating system. The en-tries in the table are the percentages of DBA's who reportedthat these tools were available. It should be noted thatalthough tools may be reported as available, they are notnecessarily used by the database administration group.

4.3.1 Use of DBMS and DED/D . 92% of the DBA's reported theusage of a DBMS, and the remaining 8% is in the process ofprocuring one. More than half actually have more than onesuch system. All have purchased or leased commercialsoftware; sometimes they also have in-house developed sys-tems .

92% of the DBA's reported the usage of a DED/D, and theremaining 8% has plans for procuring one in the future. 75%of the DED/D ' s are in-house developed software.

It is not surprising that there is almost total use ofthese two tools, since they are by far the two most impor-tant tools in database administration.

-23-

FIGURE 5

AVAILABILITY OF SOFTWARE TOOLS TO SAMPLE DBA POPULATIONi

TOOLS C0M*1ERCIAL SOFTWARE1IN-HOUSE SOFTWARE

1NOT

1

AVAIL1

(% AVAILABILITY)| (% AVAILABILITY)

|

FREE-1

STAiSiDING1

FEA'IURE1

OF OT'HERl

TOOL1

FREE-STAl>iDING

FEATURE1

OF OTHER

1

TOOL1

DBMS 921

81

DED/D 251

67 81

Information Retrieval System 421

501

8

Online Query System 331

501

8 81

Data Entry System 501

171

8 25i

Editor 501

25 251

Flowchart Generator 501

171

8 251

Text Processor 331

251

8 331

Report Generator 581

421

Cross Reference Generator 331

331

171

171

Text/File Reformatter 171

501

8 251

Data/File Maintenance 81

581

25 81

Data Editing/Validation 81

331

42 171

Data Auditor 81

421

17 331

Data Security 251

501

8 17i

Test Data Generator 171

81

25 501

Optimizer 251

171

581

Automatic Space Generator 171

671

171

1Scheduler 83

117

1

1Project Manager

150

18

18 33 1

1Librarian

150

142

18

NOTE: The entries are the percentages of DBA's who reported these

tools as available.-24-

4.3.2 Use of Other Database Administration Tools. The toolsTn this section are frequently features of other systems,especially operating systems and DBMS. As such, this groupof tools is predominantly reported as being other than in-house developed.

All the tools except the test data generator were re-ported generally available. Everyone had a report generatorand an information retrieval system in the toolchest. On-line query systems and data/file maintenance systems werenext in number*, followed closely by data editing and valida-tion systems and cross reference generators. 75% reportedthey have data entry systems, editors, flowchart generators,and text and file reformatter s . Most report also the use oftext processors and data auditors. Although flowchart gen-erator was a tool that is among those reported most general-ly available to the DBA, in fact, the DBA's claim it is sel-dom used

.

It is difficult to draw conclusions from figure 5, foralthough a pattern of availability exists, the amount of ac-tual usage in the performance of database administrationfunctions cannot be generalized.

4.4 Problems

The DBA's were asked to discuss problems they encoun-tered during the course of implementing database administra-tion functions in their organization. Responses varied from"it is too early to tell," to lurid details of specific si-tuations. Problems are summarized in two categories: non-technical problems and technical problems.

4.4.1 Non-Technical Problems. Non-technical problems usuallyhad to do with lack of management commitment, jurisdictionalquestions, data ownership disputes, power struggles, poorcommunication, inadequate training, and high costs. Severalspecific problems are noted below:

* Lack of commitment to database administration con-cepts at different management levels;

* Management hesitant to commit manpower and money tointernal] y-or iented , non-visible projects;

* Unreasonable management demands;

* Lack of decision-making power for the DBA;

* Lack of enforcement power for the DBA;

-25-

* Unresolved jurisdictional problems, especially whendifferent groups perform database administration tasks;

* Unclear definition of responsibilities of DBA's,analysts, users^ and management;

* Frequent reorganization causing instability in con-trol of data;

* Undefined ownership and control of data, especiallybetween users and DBA;

* DBA concepts conflict with service center concepts;

* Failure to establish effective communication linesbetween DBA's, technical staff, and management;

* Insufficient communication between DBA's and userswith respect to data errors and availability of help;

* Decision-making management not knowledgeable in tech-nological state-of-the-art;

* Lack of training and understanding of database con-cepts and DBMS by users and technical staff.

* Lack of experience in database technology.

* Skepticism with respect to the success of databaseadministration practices;

* Resistance of analysts and programmers to DBA in-terference ;

* Excessive procurement constraints on purchase ofhardware, software, and services;

* Inadequate cost-benefit analyses regarding implement-ing DBMS vs. conventional programming, and in evaluat-ing in-house vs. commercial software.

* High cost of hardware, software, services, technicalstaff, training, and vendor support;

4.4.2 Technical Problems . Technical problems tend to bespecific to each organization, but some general problemareas are noted below:

* Generalized systems sometimes too general for specif-ic applications; tailored systems sometimes too inflex-ible for changing needs;

-26-

* Commercial software sometimes not available for ex-isting hardware;

* Hardware/software limitations and interface problems;

* Absence of shared databases in spite of DBMS usage;

* DBMS used as a file control mechanism rather than adatabase administration tool;

* Inability to assure reliability of data;

* Lack of organizational data standards;

* Poor system and software documentation;

* Poor vendor technical support;

* Too much dependence on vendor support;

* Non-availability of commercial software source code.

4.5 Advice

The following advice was offered by the practicingDBA's to those about to establish this function. Much ofthis advice is based on hindsight and may be application-specific. However, it should be helpful to future DBA'ssince it is based on actual experience.

* Get complete management support, and get it early;

* Establish a strong organization, with good lines ofcommunication

;

* Have a good Database Master Plan;

* Be flexible, and adaptable to change;

* Develop credibility;

* Be a combination of a good technician and a good pol-itician ;

* Involve the users in planning;

* Hire staff with strong database technology back-ground, and system software experience;

* Develop strong training program for staff, users andmanagement

;

-27-

* Agree on standards first before designing a system;

* Design a total system, but implement it in segments;

* Experiment with different approaches;

* Implement a DED/D early;

* Consider the usage of a DBMS early;

* Do benchmarks when possible;

* Don't try to do too much at once;

* Be patient. It may be a long time before you seeresults

.

5. OBSERVATIONS

In the Federal Government, interest has been increasingboth with respect to database administration, and to the twomost basic database administration tools, the DBMS, and theDED/D. There is a Federal Information Processing StandardsTask Group on Data Base Management System Standards (TG-24)

,

and a Federal Information Processing Standards Task Group onData Element Dictionaries/ Directories (TG-17)

.

A recent trend is to utilize existent software tools toperform automatable functions. The software industry hasdeveloped new tools and fine-tuned existing ones to the ex-tent that today, there is a proliferation of software toolsthat can help the DBA. In addition, a number of universityprojects are focusing on database software tools. The DBAtoolchest discussed in this report provides the technicalmeans for implementing a database environment.

All the DBA's interviewed reported that the twosoftware tools they use most are the DBMS and the DED/D.This overwhelming response is expected, since the utiliza-tion of these two very basic database administration toolssupports an effective, efficient and secure database.

Organizational placement influences the effectivenessof the DBA. The closer the DBA is to executive management,the stronger the influence he can exert on database adminis-tration practices in the organization.

-28-

Organizations with a long-established DBA function fre-quently have adopted a "project team" approach, with consid-erable user involvement.

Organizations that have developed a strong DatabaseMaster Plan have a smoother transition into the database en-vironment. Their database functions are better defined, andmany of the non-technical problems are more readilyresolved

.

Expertise in computer technology as well as in databasetechnology, and administrative skills are essential for theDBA and his staff. In addition, the political nature of theposition requires diplomatic finesse.

Organizations that have established good public rela-tions within the database administration area have profitedfrom fewer disagreements and confrontations between DBA's,users, staff, and management. When the liaison function isstrongly coupled to a good database technology training pro-gram for staff, users, and management, fewer non- technicaland technical problems arise.

Stage of implementation is a temporary distinction,for, as development progresses, the functional characteris-tics converge. Thus, it is not surprising that "operation-al" activities are better organized, have larger staffs,have higher grades, and have better-defined plans than ac-tivities in the initiation stages.

It is interesting to note that although the advice of-fered by practicing DBA's is specifically concerned with da-tabase administration, it is remarkably similar to the ad-vice offered to software managers [15]

.

6. IMPLICATIONS OF DBA COMMITMENT

The decision to implement database administration func-tions in an organization must be weighed in the context ofthe organization's needs and resources. Ideally, feasibilitystudies and cost-benefit analyses should be conducted todetermine whether or not to adopt the database approach[13] . If these analyses indicate the establishment of a da-tabase administration function, then a good "Database MasterPlan" should be prepared, which includes the components ofthe database environment, the mechanics of implementation,definition of responsibilities and authority, and rules andprocedures

.

-29-

Although the incorporation of database administrationconcepts does not solve all database problems automatically,a wel 1- implemented DBA function can do much to improve themanagement and control of an organization's data resources.There are two dimensions to a successful implementation ofdatabase administration functions: the advantages to manage-ment, and the commitment that management must provide. Whatdatabase administration should do for management is dis-cussed below. In order to ensure the success of the DBAfunction, the highest level management must give full sup-port to database administration. A discussion of whatmanagement must do for the DBA concludes this report.

6.1 What Database Administration Should Do For Management

Adopting database administration concepts can improvean organization's effectiveness, since a focal point is es-tablished for the responsibility, the management, and thecontrol of the total data resources. Some of the advantagesto management of having a strong database administrationfunction are detailed below:

* A controlled database environment can help assure effi-cient performance and increased operational reliabilityin the manipulation of data. It can promote data in-tegrity; encourage standard data usages; enforce secu-rity safeguards; ensure controlled accessibility; andbalance conflicting requirements.

* Centralization of data resources can result in shareddatabases, and encourage effective specification andmanagement of the total organizational data resources.Design and development of database application systemscan be improved through the use of the DBA softwaretoolchest. Consistent and timely documentation can beenforced through the application of uniform rules andprocedures

.

* Uniform database monitoring can facilitate a total or-ganization overview of all data resources. It can helpin managing the growth and changes occurring in the da-tabases, by ensuring that the growth is anticipated andcontrolled. Optimization of database utilization canresult from enforced shared data resources. Reorgani-zation, redesign, and restructuring activities can beperformed centrally for the entire organization, asthese become necessary.

* Reduced cost of computer operations can result from theelimination of unnecessary duplication in collecting,processing, and disseminating data. Further, timely and

-30-

up-to-date reports can help management in making cost-effective decisions.

6.2 What Management MUST Do for the DBA

Once it has been decided to adopt database administra-tion concepts, full commitment and support must be given bythe highest level management to the Database Administrator,since the implementation of these concepts affects the en-tire organization. This commitment and support must be ex-pressed in the form of:

* Authority : The DBA must be given the authority tomake decisions and the power to implement any requiredchanges. One of the ways in which this authority couldbe ensured, is to place the DBA very high organization-ally.

* Definition of Responsibilities : The DBA's responsi-bilities must be clearly defined, preferably in a for-mal document such as a charter. This is essential iflater jurisdictional disputes are to be avoided.

* Compliance Power : The DBA must be given the powerto enforce the rules and regulations associated withthe implementation of database administration concepts.

* Resources : The DBA must be given the necessaryresources to carry out his functions, including staff,time, money, and equipment.

-31-

APPENDIX A

BIBLIOGRAPHY

[ 1] Berg, John L. , editor, "Data Base Directions— TheNext Steps," NBS Special Publication 451, September1976.

[ 2] Bontempo, Charles J. and David G. Swanz, "DataResource Management," First National Symposium on theManagement of Data Elements in Information Processing ,

January 1974, pp. 29-36.

[ 3] Branch, D.R.C., "Support Your Local Data Administra-tor," Journal of Systems Management, vol. 26, no. 11,November 1975, pp. 6-12.

[ 4] Canning, Richard G. , editor, "The Data AdministratorFunction," EDP ANALYZER, vol. 10, no. 11, Canning Pub-lications, Inc., November, 1972.

[ 5] Clark, Richard J., "The Data Base Administrator: Part1, " EDP In-Depth Reports, vol. 3, no. 12, August 1974.

[ 6] Clark, Richard J., "The Data Base Administrator: Part2, " EDP In-Depth Reports, vol. 4, no. 1, September1974.

[ 7] CODASYL Data Base Task Group, "Data Base Task GroupReport to the CODASYL Programming Language Committee,"October 1969, pp. 2-7 - 2-8.

[ 8] CODASYL Data Base Task Group, "Data Base Task GroupReport to the CODASYL Programming Language Committee,"April 1971, pp. 22-23.

[ 9] CODASYL Systems Committee, "Feature Analysis of Gen-eralized Data Base Management Systems," CODASYL Sys-tems Committee Technical Report, May 1971, Section 8,

pp. 441-453.

[10] Cohen, Leo J., "Data Base Management Systems— A Crit-ical and Comparative Analysis," Performance Develop-ment Corporation and Q.E.D. Information Sciences,Inc., March 1973, pp. 5-39 to 5-43.

[11] Curtice, Robert M. , "Some Tools for Data Base Develop-ment," DATAMATION, July 1974, pp. 102-106.

[12] Davis, Ruth M. , "A Focus on the Role of the DataManager," Second National Symposium on the Management

-32-

of Data Elements in Information Processing ^ October1975, pp. 57-60.

[13] Deutsch, Donald R. , Elizabeth Fong , and Joseph Colli-ca, "Cost Considerations for Database Management Sys-tems," Proceedings of Specialist Study on ComputingTechniques: The Use of Generalized Data ManagementSystems for Handling Scientific Information, (To bepublished by the Organization for Economic Cooperationand Development, Paris, France, December, 1977).

[14] Dyke, Ruth P., "Data Base Master Plan," Journal ofSystems Management, July 1976, pp. 11-13.

[15] Fife, Dennis W. , "Computer Software Management: A Pri-mer for Project Management and Quality Control," NBSSpecial Publication 500-11, July 1977, 49 pages.

[16] Federal Information Processing Standards Publication11-1, "Dictionary for Information Processing," ("Amer-ican National Dictionary for Information Processing,"X3 Technical Report, X3/TR-1 — 77, 1977 September),National Bureau of Standards, September 30, 1977.

[17] Federal Information Processing Standards Task Group17, "Executive Guide to the Management of DataResources," (To be published January 1978).

[18] Federal Information Processing Standards Task Group17, "Guidelines for the management of Data Resources,"(To be published January 1978).

[19] Fong , Elizabeth, Joseph Collica and Beatrice Marron,"Six Data Base Management Systems: Feature Analysisand User Experiences," NBS Technical Note 887, No-vember 1975.

[20] Gerson, Gordon M. , "Why Not a Federal Data Base Ad-ministrator," 39th Annual ASIS Conference, October,1976.

[21] Gomes da Costa, David, "Concept of Data ResourceManagement Vital to DBMS," Computerwor Id , September24, 1975, p. S/12.

[22] GUIDE Report for the Data Base Administration Project:"The Data Administrator: Catalyst of CorporateChange," Draft Report, October 1, 1974, 53 pages.

[23] GUIDE Report for the Data Base Administration Project:"The Data Base Administrator," November 3, 1972, 76

pages

.

-33-

[24] Heard, Edwin L. , "Thinking About Database Costs," Com-puter Decisions, October, 1977, pp. 25-34.

[25] Hochman, Aaron, "Principles and Concepts of DataResources Management System Development," Second Na-tional Symposium on the Management of Data Elements inInformation Processing , October 1975, pp. 91-98.

[26] Institute for Computer Sciences and Technology, NBS,"A Survey of Eleven Government-Developed Data ElementDictionary/Directory Systems," NBS Special Publication500-16, August, 1977, 106 pages.

[27] Leong-Hong, Belkis and Beatrice Marron, "TechnicalProfile of Seven Data Element Dictionary/DirectorySystems," NBS Special Publication 500-3, February1977, 45 pages.

[28] Lewis, Charles J., "Understanding Database and DataBase," Journal of Systems Management, vol. 28, No. 9,September, 1977, pp. 36-42.

[29] Lyon, John K. , The Database Administrator , Wiley In-terscience Publications, John Wiley & Sons, Inc., NewYork and Toronto, 1976, 168 pages.

[30] Minami, Warren N., "Data Administration: Key to BetterManagement," Journal of Systems Management, vol. 27,No. 5, May, 1976, pp. 40-44.

[31] National Bureau of Standards, "CODASYL Data Descrip-tion Language," NBS Handbook 113, Journal of Develop-ment, June, 1973. pp. 2.13-2.15.

[32] Nerad, Richard A., "Data Administration as the NerveCenter of a Company's Computer Activity," Data Manage-ment, October 1973, pp. 26-31.

[33] Robinson, Stephen L., "Data Administrator DutiesDiffer from DBA's," COMPUTERWORLD , September 26, 1977,pp. 24-25.

[34] Ross, Ronald G., "Placing the DBA," Journal of SystemsManagement, vol. 27, No. 5, May, 1976, pp. 25-33.

[35] SHARE, Inc., "Establishment of a Data Base Administra-tion Function," SSD no. 246, June 4, 1974.

[36] Sobczak, J.J., "A Data Base Story," DATAMATION, Sep-tember 1977, pp. 139-150.

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[37] Stieger, W.H., "Data Administration Functions," Papersprepared for CODASYL Systems Committee, July, 1970.(These can be obtained by writing to Dr. Stieger at:2745 Edgehill Rd . , Cleveland Heights, OH 44106).

[38] Winkler, Major Anthony J., Major Robert J. Tufts, Ma-jor Donald G. Pursley, Mr. Jack Catalano, Major JohnA. Zingg, System Survey Team, "The DataAdministrator's Handbook," NTIS number AD/A-021 659,January 1976.

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APPENDIX B

DBA INTERVIEW OUTLINE

1. What is the DBA function in your organization called?

2. Where is this function located organizationally?

3. Are there other DBAs not in your group, but in your or-ganization?

4. Is the function project-oriented or overallorganization-oriented?

5. Is it primarily administrative or primarily technical?

6. How many people are in the group? Do they work at thistask full-time or part-time? Are they technical or adminis-trative types? What specific training in database manage-ment do they have?

7. When was this position/function created?

8. What was the purpose in creating it?

TASKS

9. From the attached list of functions performed by DBA's,check those which are performed by your group. (If per-formed by a different group, indicate this.)

10. Additions to this list?

11. Rank the 3-5 major categories of tasks most often per-formed .

12. Rank the 3-5 major categories of tasks you deem most im-portant .

TOOLS

13. Describe the hardware/software environment.

14. Check on the list of tools those that are used in dataadministration, and whether you bought, leased or builtthem

.

15. Is our list of tools complete?

-36-

16. Are there other tools you use? (Include non-automatedtools .

)

17. If more than 1 DBMS is used, are they administered bythe same DBA group?

PROBLEMS

18. What non-technical problems did you encounter? (organi-zational, jurisdictional, resistance...)

19. What technical problems did you encounter?(hardware/software/DBMS incompatibilities, non-availability . . .

)

20. What would you have done differently, given the chancenow?

21. Are the 'database commitment' and DBA concept firmly en-trenched in your organization?

22. What advice would you offer to a new DBA, based on yourexper ience?

23. Do you know other DBA's in the Government?

-37-

APPENDIX C

DATABASE ADMINISTRATION TASKS ~ INTERVIEW OUTLINE

DATE:

NAME:

TITLE

:

AGENCY:

DATABASE ADMINISTRATION TASKS RESPONSIBILITY OF:

DBA OTHER

1. Database definition / redefinition

a. defines data elements

b. defines relationships among elements,programs, reports, etc.

c. defines data standards

2. Selection / Procurement

a. hardware

b. software

c. services

3. Database design / redesign

a. structures database (including designsof mapping and search strategies)

b. designs DED/D

c. designs database support software

-38-

DATABASE ADMINISTRATION TASKS RESPONSIBILITY OF:

DBA OTHER

4. Database creation

a. collects data

b. implements data definitions

c. implements the DED/D

d. inplements database support software

5. Integrity/ Security

a. designs and develops integrity checks tothe system (including validation rules)

b. implements failsafe procedures (backupand recovery)

c. specifies and implements audit trailsand loggings (e.g., recording of the up-dates and changes to the database)

d. defines auditing requirements

e. provides security authorization and as-signs passwords

6. Maintenance/ Management

a. maintains DED/D

b. updates database definitions

c. maintains database documentation

d. develops policies and practices for datausage

-39-

DATABASE ADMINISTRATION TASKS RESPONSIBILITY OF:DBA OTHER

7. Performance monitoring and evaluation

a. reviews and evaluates performance of au-tomated data activities

b. reviews and evaluates procedural dataactivities

c. initiates system improvements (redefini-tion, restructure database, new procedures,new procurements, etc.)

d. determines economics of data usage(e.g., assesses impact of changes)

e. maintains awareness of the state of theart in database technology

8. Enforcement

a. develops and administers database con-trol procedures

b. determines compliance with establishedstandard usages

c. is responsible for access control andsecurity of the database

9. Liaison

a. with users for assistance and informa-tion

b. with systems and applicationsanalysts/programmers for information, andcompliance with standards

c. with organizational management

10. Training

a. users

b. staff

c. management briefings and seminars

-40-

APPENDIX D

DATABASE ADMINISTRATION TOOLS ~ INTERVIEW OUTLINE

TOOLS NAME USED IN

WHICH TASK?

Data Base Management System (DBMS)

Data Element DictionaryA'ir'ectory (DED/D)

Information/Data Retrieval Systems

Online query systems

Data entry systems

Editors

Flowchart generator

Text processors

Report generators

Cross reference generators

Text/file reformatter

Data/file maintenance programs

Data editing and validation systems

Data auditor

Data security

Test data generator

Optimizers

Automatic Space generator

Scheduler

Project manager

Librarian (program, file, etc.)

-41-

NBS-114A (REV. 7-73)

U.S. DEPT. OF COMM.BIBLIOGRAPHIC DATA

SHEET

1. PUBLICATION OR REPORT NO.

NBS SP 500-28

2. Gov't AccessionNo.

3. Recipient's Accession No.

4. TITLE AND SUBTITLECOMPUTER SCIENCE & TECHNOLOGY

Database Administration: Concepts, Tools, Experiences,and Problems

5. Publication Date

March 19786. Performing Organization Code

7. AUTHOR(S)Belkis Leong-Hong and Beatrice Marron

8. Performing Organ. Report No.

9. PERFORMING ORGANIZATION NAME AND ADDRESS

NATIONAL BUREAU OF STANDARDSDEPARTMENT OF COMMERCEWASHINGTON, D.C. 20234

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Library of Congress Catalog Card Number: 78-606l97

16. ABSTRACT (A 200-word or less factual summary ol most sigfiificant information. If document includes a significant

bibliography or literature survey, mention it here.)

In this report the concepts of database administration, the role of

the database administrator (EBA), and computer software tools useful

in database administration are described in order to assist database

technologists and managers. A study of DBA's in the Federal Government

is detailed in terms of the functions they perform, the software tools

they use, the problems they have encountered, and advice they offer.

Finally, some guidelines are presented on what database administration

should do for management, and what management must do for their DBA's.

il7. KEY WORDS (six to twelve entries; alphabetical order; capitalize only the first letter of the first key word unless a proper

name; separated by semicolons)

JComputer sof tt'jare; database administration; database administrator (DBA) ; database

I

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